The Commission filed three new enforcement actions last week. One centered on investment fraud, a second on misappropriation and a third on financial fraud. Be careful this week, be safe. SEC Enforcement – Filed and Settled Actions Statistics: Last week
SEC Actions
The SEC Actions blog, published by Thomas O. Gorman, focuses on enforcement actions and litigation related to securities regulation. It covers topics such as investment fraud, Ponzi schemes, financial fraud, account takeovers, false statements, and settlement of SEC cases. The blog also discusses specific types of fraud involving acquisitions of brand name entities and investment schemes. It provides updates on new SEC enforcement filings and settlements, highlighting patterns and risks in securities litigation and regulatory compliance.
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Profitable Investment Scheme Is Actually a Sham
The point of investing is to try and make additional money by investing the funds profitably. The crucial point for investors is thus the returns an investment strategy generates – no returns, no investors; big returns, lots of investors. The…
A Cattle Based Ponzi Scheme
Ponzi schemes are frequent vehicles for fraudsters to make money – and investors to lose it. The device is simple enough to create and use. Typically, the fraudster offers shares of an investment for sale. The shares are frequently presented…
This Week In Securities Litigation (Week of September 29, 2025)
The Commission filed three new actions last week. One centered on an account take over, a second on free riding and a third on false statements. In addition, the agency announced the settlement of several cases including one that was…
Acquisitions of Name Brand Entities At Center Of Fraud Scheme
Frequently well-known retail operations fail and are liquidated through a bankruptcy proceeding. In some instances, the retail brand name may be purchased from bankruptcy followed by an attempt to resurrect the firm. In others the name and brand that sank…
Millions of Dollars Raised From U.S. Investors for Canadian Company
Authorization for certain corporate actions is typically required by the board of directors for significant undertakings such as soliciting investors to purchase shares or interests in the company to raise capital. While the approval process may be informal, that does…
This Week In Securities Litigation (Week of September 22, 2025)
The Commission filed one new enforcement action last week It centered on Misrepresentations. The agency also dismissed three different enforcement actions. As noted in earlier articles on such cases, the Commission typically does not offer any explanation these actions. Be…
Commission Continues to Focus on Ponzi Schemes
Ponzi schemes seem to be the key point of interest for the Commission’s enforcement program recently. Many of the cases being filed are Ponzi schemes or at least a variation of one. While it is important to bring cases where…
Claims About Nutrient-infused Water Yield Millions
Offering frauds are one of the most prevalent types of cases brought by the Commission. In many of these cases the perpetrator is not known to those conducting the fraud. Yet investors frequently step-up, listen to the pitch and then…
Adviser Builds His New Firm While At Another
It is axiomatic that an investment adviser is duty bound to act in the best interest of the client. This means in part that the adviser must put the interests of the client before their personal interests. Indeed, investment advisers…